I. Responsibilities and Privileges

I-1 Responsibilities of Faculty and Administrators

1.1 FACULTY RESPONSIBILITIES

Along with academic freedom and tenure, all faculty members recognize certain concomitant responsibilities to their students, their colleagues, to the University, and to the state and broader community.

To students, faculty members have a responsibility for:

1. Keeping abreast of current developments in their disciplines, continuously updating course content, improving the method of instruction, and regularly evaluating the effectiveness of their instruction;

2. Maintaining in their classrooms and elsewhere an intellectual and attitudinal environment in which students are stimulated to learn, to ask questions, and to explore alternative approaches to problems;

3. Respecting students as persons, being concerned about their progress, and being willing to hear their points of view without prejudice;

4. Informing students at the beginning of each semester of the objectives of each course and organizing the method of instruction and time allocation so as to meet those objectives;

5. Informing students as early as possible concerning term paper and other requirements for the course and the basis on which grades will be determined. Examinations and papers which are used for determining a course grade should be available to students for inspection and discussion. Students' grades should be based on recognized academic standards. Students should also be informed early in the course of the policy concerning attendance;

6. Holding classes and examinations as scheduled and, in the event of necessary absence, informing the students in advance of changes in schedule and making suitable alternative arrangements;

7. Being readily available to students for individual conferences relating to course work or other matters of concern and interest to students. Faculty should post a schedule indicating times when they will be available for consultation.

With respect to their colleagues, faculty members are responsible for:

1. Avoiding conduct which intentionally and substantially obstructs or disrupts teaching or other lawful activities on the University campus;

2. Respecting the rights of free inquiry and expression of opinion by their colleagues in accordance with the University's statement on academic freedom;

3. Acknowledging in their publications, the contribution which colleagues have made their research and other endeavors;

4. Evaluating or commenting fairly and objectively on the work of colleagues when peer evaluation is required for the purposes of promotion, curriculum assessment, and the like.

With respect to the University, faculty members have a responsibility for:

1. Participating in the committee work and other channels of self-governance on departmental, college, and University levels;

2. Observing the regulations of the University, which are designed to promote freedom for teaching and research, and participating through orderly means in seeking modification in these regulations when these are considered inappropriate;

3. Indicating that when they are speaking as a private person they are not speaking for or representing the University.

Faculty members are encouraged to participate in endeavors for improvement of the economic, social, and cultural life to the community, especially when they have an expertise which may make their contribution particularly valuable, and when such a contribution can be made without interfering with their primary obligations for teaching and scholarly endeavor.

The term "administrator" as used in this statement applies to the following positions at the University of North Dakota : The President, the vice-presidents, the deans, the department chairs and other directors of University programs and functions. The Statement on Faculty Responsibilities, adopted by the University Senate on November 4, 1971 , applies equally to those administrators who exercise teaching responsibilities and/or hold faculty rank.

The University administrator has responsibilities in most of the following areas: Financial administration, faculty and personnel administration, administration of the educational program, relationships with students, responsibilities as a teacher, responsibilities with his or her colleagues for the committee work of the University, the promotion of extracurricular activities within the area of his or her concern, and the provision of services to his or her profession and to the public. In order to discharge these responsibilities, two essentials must prevail: The administrator has the responsibility for defining in writing and publishing where appropriate the scope of work and the duties of those who are responsible to him or her. Authority to discharge these duties must be commensurate with the responsibilities assigned.

Each administrator with faculty status continues and maintains (1) his or her responsibilities as a teacher and (2) his or her awareness of the nature of the student body and of the faculty's pedagogic concerns. Each administrator with faculty status should teach or advise as appropriate.

The University administrator should adhere to the following principles of democratic administration:

1. Respect for individuals

2. Faith in the power of human intelligence to solve problems

3. The right of each individual affected by policy formation or alteration to have an equitable part in the determination of that policy

4. The right to act through his or her chosen representatives

5. The right to equality of opportunity

6. The exercise of fairness

7. The right of each individual to appeal decisions and actions affecting him or her and the right of the individual to be informed of avenues of appeal

In the exercise of these basic principles, the administrator should nurture an atmosphere of mutual trust and honesty based on good communication.

The administrator also has a unique responsibility to keep abreast of the developments in his or her administrative field and to exercise leadership, which encourages innovation and the development of receptivity to new ideas. As a leader the administrator functions within his or her group as its spokesperson, harmonizer, planner, executive, educator, and symbol of its ideals.

Approved: UND Senate, 03-07-91

1.3 COMMUNICATIONS PROFICIENCY

Each institution shall establish a process for verifying communication skills, including the verbal and written English language proficiency of all personnel whose appointments include classroom instruction. The process must include procedures ensuring compliance with Section 504 of the Rehabilitation Act of 1973 and the Americans with Disabilities Act and prohibit discrimination against a qualified individual with disabilities. The process must also guarantee protection against discrimination in violation of other rights protected under federal and state constitutions or laws and Board policies. Each institution shall:

A. Develop the process and standards for validating and assessing proficiency through an inclusive process, which recognizes the needs of departments, programs, students, and faculty;

B. Determine proficiency prior to employment;

C. Provide a means of continuously improving communication proficiency of all instructors to meet or exceed defined standards;

D. Establish a mechanism for students and personnel affected by this policy to register concerns related to the provisions of this policy;

E. Periodically review the effectiveness of the policy and provide reports to the Board upon request; and

F. Establish procedures to ensure compliance with Section 504 of the Rehabilitation Act of 1973 and the Americans With Disabilities Act, as well as federal and state constitutions and laws. The procedures shall include a mechanism to identify otherwise qualified personnel who may be unable to demonstrate requisite proficiency due to a disability or because of race, religion or other protected characteristic.

I-2 Oath for Teachers

Every member of the academic staff at university system institutions, before entering upon the discharge of their duties, shall execute the oath or affirmation required by N.D.C.C. section 15-10-13.2. The oath shall be executed in duplicate and one copy shall be filed at the institution and one copy given to the academic staff member.

I-3 Appointments

1. The department initiates and completes a REQUEST TO RECRUIT and forwards to the Vice President for Academic Affairs and Provost through the appropriate dean, with documents prescribed by the form attached. The Provost forwards documentation to Affirmative Action Officer (AAO).

2. The AAO reviews for affirmative action compliance. When affirmative action compliance has been approved, the complete set is returned to the Provost.

3. The Provost reviews the REQUEST TO RECRUIT for appropriate rank, title, salary level, position authorization (including funding and tenure-related status), and proposed advertisement contents. When approved, the Provost files one copy and distributes copies to appropriate offices.

4. Upon receipt of the approved REQUEST TO RECRUIT, the department proceeds to advertise, receive applications, send applicant control cards, interview, and screen candidates. When a preferred candidate is identified, the department initiates and completes a REQUEST TO APPOINT and forwards the set plus supporting documentation according to the AA/EEO Faculty Appointment Hiring Procedures Checklist to the Provost through the appropriate dean. The Provost forwards documentation to AAO.

5. The AAO reviews for affirmative action compliance. When approved, the complete set is returned to the Provost.

6. The Provost reviews the entire file, consulting with the President as necessary. When approved, the Provost files one set and forwards copies to appropriate offices.

7. Upon receipt of the approved REQUEST TO APPOINT, the department initiates a JOB DATA HIRE form and forwards it to the dean with the original approved letter of understanding and vita.

8. The dean signs the JOB DATA HIRE form and, for ranked fulltime positions, prepares a contract. All copies of both forms are forwarded to the Provost along with all copies of the letter of understanding. (Note: Steps 7 and 8 can be done along with Step 4.)

9. The Provost reviews and, when approves, (a) signs the contract, (b) mails the contract, ACADEMIC RECORD, and three (3) copies of the letter of understanding to the candidate.

10. The signed contract, letters of understanding, and ACADEMIC RECORD are returned to the Office of the Provost. The Provost then forwards the copies of the appointment form, the ACADEMIC RECORD, the signed letter of understanding, and the contract to the appropriate offices.

11. Initial call staff appointments start with the REQUEST TO APPOINT. They must be accompanied by a payroll form, a letter of understanding, and vita. Renewal lecturer and call staff appointments require a payroll form and a letter of understanding. In accordance with Senate action in March 1984, lecturers and non-ranked persons may be reappointed indefinitely. Ranked persons can be reappointed only up to three years.

Vice President for Academic Affairs and Provost, 11-14-02

3.1.1a University of North Dakota Criminal History Background Check Policy and Procedures for Employment

I. IntroductionThe University of North Dakota (UND) is committed to providing a safe and secure environment for all students, faculty, staff, and visitors; and to protecting its funds, property, and other assets. Well-informed hiring decisions contribute to this effort. Effective immediately, UND will conduct a criminal record background check (check) or a criminal history records check (check) on faculty, staff, and students hired for positions as indicated in this policy.

II. SBHE Policy/Procedure

The North Dakota State Board of Higher Education adopted SBHE Policy 602.3 requiring that each institution adopt a policy or procedure regarding checks on job applicants. Subsequently, the Chancellor adopted NDUS Procedure 602.3 authorizing positions for FBI checks. This policy and procedure is adopted to implement SBHE Policy 602.3 and NDUS Procedure 602.3 for job applicants at the University of North Dakota.

III. UND Policy/Procedures

A. Policy

1. As stated in SBHE Policy 602.3, a nationwide FBI check is required before beginning employment in the following positions, whether benefited or non-benefited:

a. Police officer; andb. Security guard

A check of the sexual offender registry will also be conducted for these positions.

2. A check is required before beginning employment in the following positions, whether benefited or non-benefited:

a. President and Vice Presidents;b. Residence hall and apartment manager or director and assistants;c. Custodians and other employees with master keys or other means of unsupervised access to residence halls or secure buildings or facilities;d. Child care employees and other employees who have unsupervised contact with children;e. Employees responsible for or with access to or in receipt of controlled substances and other drugs, explosives or potentially dangerous chemicals and other substances;f. Counselors and coaches; andg. Employees who are required to meet Payment Card Industry (PCI) Data Security Standards compliance.

The check for positions in Section 2 may be conducted through the Federal Bureau of Investigation (FBI), the North Dakota Bureau of Criminal Investigation (BCI), or through the use of a private licensed vendor specializing in background checks. A check of the sexual offender registry will also be conducted for these positions.

3. A check will be done on current employees as deemed necessary by the guidelines above.

4. A check may be done for other positions as determined by the department head at the time of recruitment with concurrence of the Office of Human Resources pursuant to NDUS Procedure 602.3.

5. Checks will be used only to evaluate candidates/employees for employment purposes and will not be used to discriminate on the basis of sex, race, color, religion, age, physical or mental disability, status with regard to marriage or public assistance, sexual orientation or participation in lawful activity off the employer's premises during nonworking hours.

B. Procedures

1. Position announcements for positions requiring a check will include this statement: "A criminal history check will be conducted on the finalist prior to beginning employment."

2. An offer to the top candidate may be made "contingent upon successfully completing a criminal history check." Employment will not begin until results of the check are received for positions requiring a check.

3. A "Criminal History Background Check Authorization Form" [available on the Office of Human Resources (HR) website] will be obtained as part of the interview process. Declining to complete the authorization form will remove the candidate from further consideration for the vacancy. The form will be processed for the final candidate. Authorization is made with the understanding that the University of North Dakota reserves the right to withdraw the offer of employment or terminate employment if the results of the check are unsatisfactory.

4. Upon receipt of the "Criminal History Background Check Authorization Form" and recommendation for selection for hire, HR will process the authorization for the check with the appropriate agency or private licensed vendor. Costs associated with conducting the check will be incurred by the hiring department.

5. The Director of Human Resources in consultation with the supervisor or the department's HR manager, UND General Counsel and UND Chief of Police will determine clearance for employment. Disqualification of a candidate will be based on 1) falsification of application or authorization information, or 2) an unsatisfactory check as it relates to the position.

a. A discovery of falsification, including misrepresentation or failure to disclose relevant information as part of the recruitment and application process, will disqualify a candidate from employment consideration. If the candidate is a current employee, falsification may also subject the individual to disciplinary action, up to and including termination.

b. A previous criminal conviction does not automatically disqualify an applicant from consideration for employment with UND. Candidates' eligibility will depend on a variety of factors, such as the nature, severity, and frequency of the offense or offenses; the time elapsed since conviction and the rehabilitation record; the actions and activities of the individual since the offense or offenses, including the individual's subsequent work history; the truthfulness and completeness of the candidate's disclosure of the conviction(s); whether a criminal conviction has a direct bearing on the individual's ability to fulfill job duties and responsibilities; the risk to the safety and welfare of employees, students, the general public, or UND property; and any other relevant information.

c. If a decision is tentatively made not to hire an applicant (or to withdraw an offer) based on the results of the check, the Office of Human Resources will provide the appropriate notifications to the applicant/employee. The applicant/employee will have three working days from the receipt of the notification to challenge the findings and an additional seven working days to successfully resolve it. If the findings are upheld, the Office of Human Resources will notify the individual of the non-selection. Although the federal Fair Credit Reporting Act (FCRA) requires notification procedures if an outside vendor is used to conduct the checks, this notification process will be followed even if an outside vendor is not used.

6. The Office of Human Resources will maintain check records in accordance with records retention guidelines and North Dakota open records law.

Approved 12-22-09, President Robert O. Kelley

3.1.2 School of Medicine and Health Sciences Appointment Procedure

1. The department initiates and completes the REQUEST TO RECRUIT form and forwards the form along with attachments to the Academic Affairs/Senior Associate Dean's Office.

2. The Senior Associate Dean, after consultation with the Office of Administration and Finance, verifies the proposed rank, title, salary level, position authorization and ad included in the REQUEST TO RECRUIT (including funding and tenure-related status).

3. The Senior Associate Dean reviews and forwards all paperwork to the Affirmative Action Office (AAO) for affirmative action compliance. When approved, AAO files one copy and returns the signed form to the Academic Affairs/Senior Associate Dean's Office. The Academic Affairs office forwards the REQUEST TO RECRUIT to the Dean/Vice President for Health Affairs office for signature.

4. The signed REQUEST TO RECRUIT is returned to the Academic Affairs office for distribution to the appropriate offices (originating department and AAO).

5. Upon receipt of the approved REQUEST TO RECRUIT, the department proceeds to advertise, receive applications, direct applicants to the applicant control card site (http://und.edu/affirmative-action/apcontrolcard.cfm), screen applicants' materials, and interview candidates. When a preferred candidate is identified, the department initiates/completes a REQUEST TO APPOINT form and forwards it along with all supporting documentation including the draft letter of understanding to the Academic Affairs/Senior Associate Dean's Office. When appropriate, the applicant's file is reviewed by the Committee on Promotion and Tenure (CPT). The Committee forwards its recommendation to the Academic Affairs Office and it is attached to the REQUEST TO APPOINT.

6. After final review of the REQUEST TO APPOINT packet by Academic Affairs/Senior Associate Dean's Office and the Office of Administration and Finance, the packet is forwarded to the AAO for confirmation of affirmative action compliance.

7. The approved packet is returned to Academic Affairs/Senior Associate Dean's office and forwarded to the Dean/Vice President for Health Affairs for review and approval. After the Vice President for Health Affairs has signed, the packet is returned to the Office of Academic Affairs for distribution to the appropriate offices (originating department and AAO). If the appointment involves a foreign national, the department must send a copy of the REQUEST TO APPOINT to International Programs,.

8. Upon receipt of the approved REQUEST TO APPOINT, the department forwards the letter of understanding to the applicant for signature. Upon receiving the signed letter of understanding the department forwards the original letter to the Office of Academic Affairs and the department initiates the appropriate hiring/appointment forms and forwards them to Administration and Finance office for review and approval. Copies of the hiring/appointment forms are forwarded to the office of Academic Affairs and are filed.

School of Medicine and Health Sciences, 1-28-13

3.2 SUMMER TEACHING APPOINTMENT

The Summer Session student enrollment is approximately one-third that of a regular academic semester. However, the composition of the student body differs substantially with a larger proportion of students enrolled in the upper undergraduate and graduate courses. Efforts are made to provide variety in courses from summer to summer, insofar as departmental and University needs permit. The basic full-time teaching load is 12 credits. Most departments elect to provide a wider scope of offerings by using partial appointments. The salaries are established on a flat rate for each academic rank and number of credits taught.

Formal appointments are usually issued in March. Appointment for summer is premised on continuing employment in the fall semester, unless the needs of the department and the University indicate exceptions. Faculty having nine-month contracts may be employed for up to three full months' salary providing the employment and/or salary payments do not violate state and/or federal regulations, University regulations, or the sponsoring agency's regulations.

Director of Summer Sessions, 11-08-02

3.3 COURTESY APPOINTMENT

A courtesy appointment is an academic appointment granted to a person who has been requested by the faculty to participate in the academic or research program of the college or University because of his unique qualifications and capabilities. A courtesy appointment is a non-tenure appointment and involves no remuneration.

In requesting a courtesy appointment, the faculty must show substantial evidence of the academic qualifications of the candidate, and the specific and unique need for the candidate's special qualifications in the college or University program.

Courtesy appointments will not normally last longer than two years. Exceptions to this must be approved by the Vice President for Academic Affairs.

Vice President for Academic Affairs and Provost, 11-14-02

3.4 EMERITUS STATUS

Institutions may confer emeritus status upon retirement or after retirement to faculty or senior administrators or professionals (excluding meritus status for presidents), pursuant to institution policies and procedures. Criteria for emeritus status may include, but are not limited to, length of service to the institution, significant contributions to the institution and the State of North Dakota, or particularly distinguished service to an academic discipline.

Emeritus status shall not include salary or other compensation or other rights, except privileges specified in institution policies or procedures.

The Office of the Vice President for Academic Affairs calls for documented nominations from department/college offices for faculty to be considered for emeritus title. A documented nomination means that a paragraph should be included on each person (1) describing why the individual merits this distinction and (2) including dates of initial appointment and retirement. The Board has requested this information. Nominations will be reviewed and accumulated into a single list, which will be submitted to the President for approval and transmission to the State Board of Higher Education.

Vice President for Academic Affairs and Provost, 11-14-02

I-4 Procedures and Guidelines for Employee Evaluations

4.1 PERFORMANCE EVALUATIONS: BENEFITED EMPLOYEES

1. All benefited university system employees shall have an annual written and verbal performance development review that includes evaluation of performance based upon mutually agreed upon development plans or goals. Procedures governing faculty shall be consistent with requirements stated in Policy 605.1. Requirements for employees included within the broadbanding system are stated in Section 17 of the NDUS Human Resource Policy Manual; those requirements shall also apply to all other employees except faculty.

2. All merit pay increases must be supported by current written performance reviews and consistent with a salary administration plan adopted under policy 702.4

4.2 UND PROCEDURES AND GUIDELINES FOR THE EVALUATION OF TENURED AND NON-TENURED FACULTY

Procedures and guidelines for the evaluation of tenured and non-tenured faculty are established to provide the means whereby the performance of individual faculty members and their contributions to the University community may be equitably assessed and documented.

The uniqueness of individual faculty members, and the departments of which they are a part, has been acknowledged in the development of these guidelines and procedures; and because of that uniqueness, the main responsibility for implementation of evaluation procedures has been placed in the departments. Review of the departmental procedures by the college and the Council of Deans has been established to provide equity of assessment throughout the University community.

Evaluation instruments are the means whereby information is gathered to provide a basis for evaluation. They do not constitute an evaluation in themselves. "Evaluation" in the terms of these guidelines is the process whereby the information acquired by evaluation instruments, i.e., peer and student evaluation questionnaires, administration and external comments, etc., are analyzed and evaluated to determine the quality of performance by an individual faculty member, as measured against the criteria and objectives set by the department.

UND Senate, 01-16-75

4.3 UND POLICY ON EVALUATION OF TEACHING

The evaluation of teaching as two distinct purposes: formative and summative. Formative evaluation is that which gathers information for the use of the instructor in improving his or her own teaching. Summative evaluation gathers information to be used by colleagues and administrators for the purpose of making decisions about retention, tenure, promotion, and merit salary increases.

Although the policy set forth here applies only to summative evaluation of teaching, the information collected in the course of the evaluation process may also be used for formative evaluation when appropriate. It is important to note, however, that information gathered solely for purposes of formative evaluation is intended only for the use of the faculty member, and should be used in summative reviews only with his/her permission.

1. Frequency and Extent of Evaluation

The teaching performance of all instructors, regardless of their academic rank or tenure status, is subject to evaluation annually.

* All faculty, regardless of status (probationary, tenured, and non-tenure track), must be evaluated as part of the annual review process, as well as for decisions regarding tenure and promotion. In each case, the faculty member being evaluated is expected to provide evidence of effective teaching in the form of at least three sources of data, one of which must be students. (See below for a list of potential sources of data.)

* Graduate teaching assistants must be evaluated annually as well, in a manner appropriate to their teaching assignment.

Although it is important to acknowledge the unique nature of each individual's teaching situation, and to set flexible standards accordingly, it is expected that all instructors will be able to show evidence of these five basic hallmarks of good teaching:

respect for students

command of the subject matter

careful preparation

effective communication

continuing professional growth.

3. Roles of the Various Parties

Role of the College. It is the role of the college to ensure that evaluation of teaching is conducted in a fair and reasonable manner, and with as much consistency as possible across the college. In addition to the expectations outlined here, each college may specify other aspects of teaching to be evaluated and other sources of data on teaching to be supplied by the department and/or faculty member.

Role of the Department. It is the role of the department to set reasonable expectations in regard to teaching, to communicate those expectations clearly, and to assist and support faculty in their professional development as teachers. Toward this end, each department shall develop a written statement of expectation for effective teaching within the department. At minimum, this statement should address the basic expectations outlined in (2) above. In addition to university and college expectations, each department may specify other aspects of teaching to be evaluated, additional expectations to be met, and additional documentation materials to be supplied by the faculty member. The department's statement on teaching evaluation policy should be kept on file in the department, distributed to each department member, and attached to all recommendations regarding retention, tenure, promotion, and reward going beyond the department. The department should also be prepared to assist faculty in meeting departmental expectations, and/or to refer them to appropriate campus resources to support their teaching.

Role of the Faculty Member. It is the role of the faculty member, in collaboration with the department chair, to take an active part in his or her evaluation by providing materials that give a complete picture of his/her teaching, by organizing those materials in an accessible manner, and by making herself/himself available for discussion of those materials with peers and administrators. In addition to materials required by the department, college, and university, the individual faculty member may submit any additional materials deemed appropriate to the evaluation process.

4. Potential Sources of Data

As noted earlier, each faculty member being evaluated is expected to provide evidence of effective teaching in the form of at least three sources of data in consultation with the chair, one of which must be students.

Student-Provided Data - may be gathered using the USAT or other student feedback forms, and/or by carefully documenting student feedback gathered by the department chair or immediate teaching supervisor. All student data will be offered voluntarily.

The other two sources of data to be used in the evaluation of teaching may vary from one department to the next. They include:

Documented Data from Peers - based on formal observation of classroom teaching, review of teaching materials/portfolios, or observations of other teaching-related work (in graduate committees, curriculum planning sessions, etc.)

Documented Data from the Chair - based on formal observation of classroom teaching, review of teaching materials/portfolios, or observations of other teaching-related work (in graduate committees, curriculum planning sessions, etc.)

5. Use of Student Feedback

NDUS policy states that "evaluations of all teaching faculty must include significant student input" (Section: 605.1.6 - Academic Freedom and Tenure; Academic Appointments). In order to present a broad and accurate view of teaching, summative data should be gathered regularly, from a wide range of classes over several semesters. It is the responsibility of the department and/or college, to create appropriate mechanisms for gathering student input.

Informal Feedback. In addition to soliciting formal feedback for summative purposes, faculty are encouraged to solicit frequent informal feedback for purely formative purposes--that is, for the sole purpose of improving teaching and learning. Informal feedback may take the form of SGIDs, informal surveys, or other classroom assessment techniques and may be used by the individual teacher as he or she sees fit. Unless and until the instructor chooses to offer such data to evaluators, it should not be part of the evaluation process.

Mixed Data. When formal numerical data is mixed with informal written data, as is often the case with student feedback forms, only the numerical data will be reported to the chair and dean. However, because it is important that teaching not be reduced to a numerical rating, it is recommended that faculty share student written comments with evaluators as well. At the same time, because written student comments represent only the perspective of those who choose to make them, it is also recommended that department and college evaluators recognize the limitations of such data and seek to corroborate it using other sources. Because written data provided by students on anonymous end-of-semester questionnaires is protected by FERPA (Family Educational Rights and Privacy Act), all reasonable care must be taken to see that such data is not traceable to individual students.

Aggregate Data. Aggregate data from the USAT forms will be compiled by the Office of Institutional Research and distributed to individual faculty members, department chairs, and deans. Any other aggregate data used for comparison purposes in the evaluation of individual faculty members should also be made available to those faculty members.

6. Evaluation of Online Instruction

For program, course, and faculty evaluation purposes, the same access that is appropriate for evaluation of traditional instruction shall be provided for online instruction. The instructor will be provided with notice of the temporary access that is sought for evaluation purposes. Protection will be provided for private student information and for portions of online material that have been designated as limited to the instructor and the students.

UND Senate, 11-04-10

I-5 Promotions

5.1 ACADEMIC RANKS OF UND FACULTY

To the extent each characteristic is called for by the promotion candidate's contracts and tenure plans, the ranks in faculty of the University of North Dakota, and the characteristics of each rank are:

PROFESSOR

Recognition for teaching excellenceRecognition for scholarly and/or creative accomplishmentRecognition for leadership within his or her professionRecognition for demonstrated spirit of concern for society

ASSOCIATE PROFESSOR

Marked teaching effectivenessScholarly and/or creative accomplishmentSubstantial contribution to his or her professionDemonstrated spirit of concern for society

ASSISTANT PROFESSOR

Effective as a teacherScholarly and/or creative endeavorActive in his or her professionSpirit of concern for society

INSTRUCTOR

Promise as a teacherInterest in his or her profession

Approved: UND Senate, 01-08-70 ; amended 02-05-98

5.2 CRITERIA FOR PROMOTIONS IN RANK

Promotions in rank are initiated by a written recommendation from the department chairs to the dean of their college or school. This recommendation must include a thorough evaluation of the qualifications of the candidate. This evaluation must take into account, and speak with reference to, the tenure plan or plans under which the candidate has served, specifying the candidate's duties and goals, identified by the candidate's contract(s) as required by Board of Higher Education Policy Manual §605.1 Subpart 3 b. (1) and (2). Recommendations are then submitted to the Vice President for Academic Affairs/Provost who, after seeking recommendations from the University Promotions Committee and a committee of deans, makes a recommendation to the President. In accordance with State Board Policy 305.1.3.d, the President will approve or disapprove the recommendation.

Promotions are regarded as recognition of superior intellectual attainment as evidenced both in teaching and in distinctive contributions to one's discipline or profession. A truly effective faculty member will also demonstrate a commitment to society. While individuals will possess these qualities in varying degrees, they will be considered for promotion on the basis of the following criteria as specified to be pertinent to the individual in her or his contract(s) and tenure plan(s) identified in such contract(s):

A. Teaching

Effective teaching is an indispensable criterion for promotion. Evidence of effective teaching need not be restricted to formal classroom or seminar activity, but may include such things as the direction of graduate studies and contributions to curriculum design and implementation. Since there are a number of ways in which a faculty member may be a demonstrably effective teacher, no firm guidelines for judging this qualification are suggested. Rather, it shall be the responsibility of the department chairperson to submit meaningful statements, accompanied by whatever evidence or documentation he or she deems appropriate, concerning the candidate's effectiveness in various types and levels of instruction.

B. Contributions to One's Discipline or Profession

A second indispensable criterion for promotion is evidence of noteworthy contributions to one's discipline or profession in the form of research and creative work and/or outstanding professional competence and activity.

1. Research and creative work: Evidence of scholarship and creative work is found in the candidate's published research or recognized literary or artistic productions. Research publication and other creative accomplishments are to be evaluated, not merely enumerated, and there should be evidence that the candidate is continuously and effectively engaged in creative work of high quality and significance.

2. Professional competence and activity: Contributions to one's field are often in the form of demonstrated distinction in the special competencies characteristic of the profession or discipline. Recommendations based on this criterion should be accompanied by evidence of leadership in the field and progressiveness in the development and implementation of new approaches and techniques for the solution of professional problems.

C. Contributions to Society

Other areas of activity are recognized as crucial to the effective functioning of the University. A faculty member may contribute special knowledge to the benefit of society as a whole, and may serve the University in administrative roles, committee memberships, and the like. It is expected that all faculty members will devote a certain amount of time and effort to these functions.

More detail is available from the Academic Affairs Office.

Approved: UND Senate, 01-08-70 ; revised 02-05-98

5.3 UND SENATE PROCEDURAL GUIDELINES FOR PROMOTION

The procedures set forth below should not be interpreted so as to diminish the department chairperson's or dean's continuing responsibility to counsel faculty under his or her administrative jurisdiction as to their professional performance and development. It is assumed that that responsibility will have been met in the determination or determinations, annually or as made, regarding the tenure plan for the person under consideration and thus the terms and conditions of employment and continued employment under the annual (or other) contract(s).

A. Initiation of Promotion

1. Recommendations are normally initiated within the department either by the faculty member desiring promotion, a department committee, or the department chairperson. Because of the close and frequent professional association between the initiating committee or the department chairperson and the faculty member, appropriate consideration should be given to the chairperson's recommendation at all stages of the reviewing process. If the recommendation is negative, the faculty member must be informed in writing by the department chairperson of the basis for the recommendation.

2. In addition to the normal procedure described in A.1 above, eligibility for promotion will be reviewed for instructors in their fourth year in rank, assistant professors in their sixth year in rank and associate professors in their seventh year in rank whenever promotion to the next rank has not been recommended earlier. The review is normally initiated in the department as described in A.1 above. A faculty member may, in writing, withdraw a consideration of a promotion at any level of review. The time periods specified above are not intended to indicate the normal or usual time spent in a particular rank prior to promotion. The criteria for evaluation of promotion should be the same regardless of when such a review occurs. For persons hired at mid-year, the half year of service shall count as a full year toward promotion.

B. The Reviewing Process

1. Recommending Authorities. Promotions are normally made by the President upon recommendation by the department chairperson, the dean of the college or school involved, and the Vice President for Academic Affairs.

All recommendations from the department chairperson, the dean, and the Vice President for Academic Affairs, must be in writing, and each must include a statement supporting the recommendation. Both the recommendation and the statement must be made part of the promotion file. After each recommendation is made, the candidate for promotion must be informed of said recommendation and must be given access to the promotion file in order to review the recommendation and respond, if desired, in the form of a written statement, to any material in his or her promotion file.

2. Groups and Persons Advisory to the Recommending Authorities. The department chairperson must seek the advice of a department committee. The Vice President for Academic Affairs must seek the advice of a University Promotion Committee appointed by the President, and of a committee of four or more deans selected by the deans and including the Graduate Studies Dean. Except for the committee of deans, all advisory groups must be composed of faculty. All advisory groups must record votes for and against promotion, and the record of the votes must be made a part of the promotion file. All written advice must be part of the promotion file.

3. Promotion reviews will take place in the Fall semester. When a faculty member is being reviewed for tenure and promotion during the same academic year, recommendations at all levels are to be made simultaneously but on appropriate forms, and care is to be taken that appropriate forms are forwarded to the various advisory bodies. The faculty member being reviewed for promotion and tenure in the same academic year may submit the same supporting materials for both processes.

C. Appeals Procedure

1. Special Review Committee

a. If a faculty member alleges, within sixty calendar days of official notification of the President's decision, that the institution's procedural guidelines as described in sections A and B above were violated, the allegations shall be given preliminary consideration by the Special Review Committee, which shall seek to settle the matter by informal methods. If the allegation is unresolved at this stage, the Special Review Committee shall refer the matter to be heard by the Standing Committee on Faculty Rights in accordance with the procedures in section C.2.

b. If a faculty member alleges, within sixty calendar days of official notification of the President's decision, that his or her rights, other than those relating to procedural guidelines as described in sections A and B above, were violated, the allegation shall be heard by the Standing Committee on Faculty Rights in accordance with the procedures in section C.2.

2. Standing Committee on Faculty Rights

a. The committee may, with the consent of the parties concerned, hold joint pre-hearing meetings with the parties in order to (a) simplify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, and (d) achieve such other appropriate pre-hearing objectives as will make the hearing fair, effective, and expeditious.

b. Service of written notice of hearing including specific grounds for the institution's contested action shall be made at least twenty calendar days prior to the hearing. The faculty member may respond in writing up until three working days before the hearing. The faculty member also may waive a personal appearance and request a decision on the basis of the written statement.

c. During the proceedings, the institution shall be entitled to have counsel, and the faculty member will be entitled to have an academic advisor and counsel of his or her own choice and at his or her own expense. In addition, either party or the committee may invite up to two observers each to attend the proceedings.

d. A recording of the hearing or hearings shall be made at the institution's expense and be accessible to both parties. The faculty member shall be provided a copy of the record upon request, without charge. The faculty member may request a written transcript of all or a portion of the record. The faculty member shall be provided a copy of such transcript without charge. The findings of fact and the decision shall be based solely on the hearing record. If the faculty member succeeds in establishing a prima facie case before the committee, it shall be incumbent upon those who made the promotion recommendation to come forward with evidence in support of their decision.

e. The committee may admit any evidence, which is of probative value in determining the issues involved. Every reasonable effort shall be made to obtain the most reliable evidence available. The committee shall grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.

f. The faculty member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The faculty member and the institution shall have the right to confront and cross-examine all witnesses. Where a witness cannot or will not appear, but the committee determines that the interests of justice require admission of the witness' statement, the committee shall identify the witness, disclose the statements and, if possible, provide for interrogatories.

g. The committee's conclusion as to whether or not grounds to support the institution's action have been established by the evidence in the record shall be reported to the President. The President shall notify the committee and the faculty member of the President's decision, within fifteen calendar days of receiving the report. The faculty member or committee may submit a written response to the President's decision.

Approved: UND Senate, 03-04-82 ; 03-01-84 ; 02-05-98 ; revised 5/98.

Promotion of Special Appointment FacultyPromotion of faculty who do not have probationary or tenured appointments requires the adoption and application of appropriate departmental standards for promotion. In the absence of an approved plan for a specific college or school, the process used for evaluation of such promotion applications will be identical to the process for consideration of probationary and tenured faculty, with the exception that the final level of decision-making shall be the appropriate Vice President (Academic Affairs or Health Affairs).

Approved by University Senate, March 3, 2011

SEE ALSO: North Dakota Century Code 44-04-19 [Access to public meetings], 44-04-20 [Notice of public meetings], 44-04-21 [Open voting at public meetings required]

I-6 Academic Freedom

General Principles:

The primary responsibility of the academic community is to provide for the enrichment of intellectual experience. Essential to the realization of this ideal is a free and open academic community, which takes no ideological or policy position itself. The responsible academic community welcomes those who do take an ideological or policy position and jealously guards their right to do so. Conflict of ideas cannot occur unless there is opportunity for a variety of viewpoints to be expressed. Toleration of what may be error is an inescapable condition of the meaningful pursuit of truth. The academic community must be hospitable even to closed minds, and it must welcome the conflict of ideas likely to ensue. Academic responsibility to provide opportunity for expression of diverse points of view generates academic freedom.

Faculty:

Faculty members are entitled to full freedom in research and in the publication of results, subject to the adequate performance of their other academic duties. They are also entitled to freedom in lecturing or conducting demonstrations in their subject or field of competence. They are entitled, as any other member of the community in which they live, to establish membership in voluntary groups, to seek or hold public office, to express their opinions as individuals on public questions and to take action in accordance with their views. Cognizant of their responsibilities to their profession and to their institution, faculty accept certain obligations; they should attempt to be accurate, to exercise sound judgment and respect the rights of others to express opinions. They must make clear that their actions, their statements, and their memberships do not necessarily represent the views of the academic community. If there are controls to be exercised over faculty members, they are the controls of personal integrity and the judgment of the colleagues.

Students:

Students are entitled to be taught by unfettered teachers and to have access to all information pertinent to their subjects of study. They are entitled to as complete freedom as possible in the selection of their curriculum, teachers, and associates. Moreover, they have a right to intellectual disagreement with their instructors and associates and to question them without fear of recrimination or punishment. They also are entitled to seek the publication of their views, to seek membership in voluntary groups, to seek or hold public office, and to take lawful action in accordance with their views. Students also have the responsibility to make clear that their actions, memberships, and statements do not represent the views of the academic community.

Guest Speakers, Movies, and Other Programs:

A college or university by its very nature cannot pay lip service to the concept of freedom of expression and then deny persons with whom it is in disagreement the opportunity of giving expression to their views. Furthermore, a policy that extends the right of freedom of expression to some persons and denies to the others, places the institution in the position of endorsing the past records and views of those who are given permission to speak. Therefore, a speaker, performer, or program may be presented under the sponsorship of any duly recognized student, faculty, or administrative organization or any individual officer of instruction. It is not necessary that the point of view presented be congenial to the campus, members of the staff or student body individually, or to individual members of the wider community. The speaker must be accorded the courtesy of an uninterrupted presentation. Except for ceremonial occasions, speakers must accept as a condition of their appearance the right of their audience to question or challenge statements made in their address. Questions must be permitted from the floor unless prevented by physical limitations, or the size of the audience. The invitation or scheduling of such a program must represent the desire of the institutional sponsor and not the will of external individuals or organizations. The sponsor must establish full responsibility for the program and should help to establish the concept that the point of view expressed in an address or performance does not necessarily represent the position of the academic community. Such presentations must at all times be consistent with the laws of North Dakota and the United States .

I-7 Political Activities

The Board of Higher Education recognizes the importance of, and encourages, participation by individuals in the political, social, and economic affairs of the community, state, and nation. While the Board respects the deep concern of individual faculty members and students about current events and issues, and the committed desire to participate actively in elections, the Board must emphasize the distinction between involvement of an individual and involvement of an institution. The Board affirms its traditional concern of the well-being of the society, at the same time, the institution must remain outside the political arena. Adjustment of the academic calendar in order to free students, faculty, or other employees to engage in political activity is not consistent with the foregoing affirmation.

This policy does not bar anyone from active independent participation in political campaigns on behalf of candidates of his or her choice or in the advancement of his or her political beliefs or policy concerns outside the institution. In fact, active participation by all Americans in the political process, which is fundamental to the democratic way of life, is encouraged.

The Board does not believe it legitimate or wise for a college or university to make political commitments. Further, institutional participation in political activity, however worthy that activity might be in itself, would raise many legal questions.

The fundamental issue is the corporate involvement of an institution and any action that might involve institutional political unanimity, which would not represent the views of all members of the academic community.

There is a danger that an institution could evolve toward a kind of political orthodoxy, which in certain circumstances might even inhibit and discourage the expression of other opinions.

Any disruption of the normal processes of education at any institution endangers the very heart of our institutions; namely, freedom of inquiry, freedom of thought, and freedom of expression. Every effort must be made to make it as easy to present opposing viewpoints as it is for someone to express his or her views initially. An institution is not a place where anyone expressing a point of view, however much he or she is in minority, can be either silenced or threatened with language or physical actions. The common standards of courtesy that should characterize the academic community must be respected.

While class attendance may be no longer required in some institutions, every student has a right to expect every class for which he or she is registered to be held according to the university or college class schedule. In event of any class disruption or strike, students who choose to attend class must be able to do so without fear of intimidation or injury. Classes will be held in accordance with the academic calendar, and all members of the faculty are obliged to meet assigned teaching responsibilities.

A university or college must always be a place of learning, a place for discussion, a place to hear differing opinions, a place for dissent, but such dissent must be made in a rational, lawful, and peaceful manner. It must be made with due respect for the rights of others. While the Board protects the rights of all those who choose to dissent in peaceful and lawful ways, it must defend, with all the power at its command, the rights of others when any actions by dissenters are clearly disruptive of the work and program of the university or college.

a. A college or university is a forum for ideas, and it cannot fulfill its purpose of transmitting, evaluating, and extending knowledge if it requires conformity with any orthodoxy of content and method. Academic freedom and tenure are both important in guaranteeing the existence of such a forum. This policy is intended to enable institutions under the authority of the Board to protect academic freedom.

b. The purpose of tenure is to assure academic freedom. Academic freedom applies to all scholarly pursuits. Freedom in scholarship is fundamental to the advancement of knowledge and for the protection of the rights of the faculty members and students. It carries with it duties and responsibilities correlative with rights. These duties and rights are set forth in policy 401.1, relating to Academic Freedom, and the 1940 Statement of Principles on Academic Freedom and Tenure (Rev. 1990), adopted by the American Association of University Professors and the Association of American Colleges. These policies apply to all institution faculty unless otherwise indicated.

c. Tenure is awarded by the Board upon recommendation of the Chancellor, following review and recommendations made pursuant to the procedures established at the institution and a recommendation by the institution's president to the Chancellor. A favorable recommendation means that the applicant meets all of the prerequisites and criteria and the award of tenure is consistent with the sound fiscal management and academic priorities of the institution and the system of education under the control of the Board. Tenure recommendations submitted to the Board shall include a brief summary of the candidate's qualifications and reasons for the recommendation. Tenure is not an entitlement, and the granting of tenure requires an affirmative act by the Board. Tenure is limited to the academic unit or program area in the institution in which tenure is granted and shall not extend to an administrative or coaching position.

c. "Faculty" means all members of the academic staff, excluding only coaches and administrators in their capacities as coaches or administrators. [No implementation required]

d. "Receipt" means either actual or constructive receipt. Constructive receipt means the sending party has taken all reasonable steps to ensure that the receiving party has received actual notice. [No implementation required]

3. General Procedures

a. Because of the variety of scope and organizational structure of the institutions under the control of the Board, the faculty governance structure at each institution, in accordance with section 305.1 of these policies, shall recommend procedural regulations to the president to implement policies 605.1, 605.2, 605.3 and 605.4, including:

i. procedures for continuing evaluation of both probationary and tenured faculty members; and

ii. criteria and procedures by which faculty members are evaluated and recommended for tenure.

b. The criteria for tenure evaluation and continuing evaluation of probationary and tenured faculty shall include scholarship in teaching, contribution to a discipline or profession through research, other scholarly or professional activities, and service to the institution and society. Institutions may adopt additional criteria. The regulations defining these criteria shall be consistent with the nature and mission of the institution.

i. Institutions shall establish various tenure "plans" appropriate to the diverse missions of individual institutions, designed to encourage emphasis on research, scholarship in teaching (including, for example, utilization of technology in teaching and innovative teaching methods), service (including, for example, technology transfer and economic development) and other areas of emphasis. Institution regulations shall include guidelines for determining weight to be given each of the criteria for tenure evaluation and continuing evaluation. The guidelines shall provide for varying emphases on the enumerated criteria based upon the faculty member's plan, the needs of the institution and the background, abilities and interests of the faculty member.

ii. Tenured and probationary faculty contracts shall identify the faculty member's tenure plan and describe the faculty member's duties and goals. The contracts shall specify the weight to be given the criteria for evaluating performance. The contract provisions shall be reviewed and, when appropriate, revised as a part of the faculty member's periodic evaluations.

c. Eligibility for tenure requires a probationary period of six years of continuous academic service to the institution, during which the faculty member is evaluated at least annually according to an evaluation process designed to foster continuous improvement. The term may be extended beyond six years or the continuous service requirement may be waived in exceptional circumstances. Institutions shall establish procedures for granting extensions or waivers of the continuous service requirement in exceptional circumstances, which must include maternity or parental leave and appropriate accommodations for faculty members with disabilities. Institution procedures may define additional exceptional circumstances including, for example, family emergencies or extended illness.

d. An institution may, subject to procedural requirements stated in this policy and sections 605.2, 605.3, and 605.4, decline to renew the contract of a probationary faculty without cause at any time during the probationary period.

4. Faculty appointments shall be probationary, tenured or special.

a. PROBATIONARY APPOINTMENTS are renewable annually and yield credit toward tenure. The probationary term is limited to six years of continuous academic service, excluding extensions to the term or exceptions to the continuous service requirement granted in exceptional circumstances.

i. An individual with previous professional experience may, at the discretion of the institution, be given tenure credit not to exceed three years for this experience, with such credit to be regarded as academic service to the institution for the purpose of these regulations. The faculty member shall be informed in writing of this policy and the institution's decision prior to or at the time of appointment.

ii. Time spent on leave of absence or developmental leave may be counted, up to a maximum of two years, as academic service for the purposes of these regulations. The amount shall be determined, and the faculty member informed in writing, including any applicable conditions, prior to authorization of the leave.

b. TENURED APPOINTMENTS recognize a right, subject to Board policy, to continuous academic year employment in an academic unit or program area as defined by an institution and stated on the contract. A faculty member shall qualify to be recommended for a tenured appointment by satisfying the criteria for tenure developed in accordance with subsection 3 of this policy.

i. The following persons are not eligible for tenured appointment:

a. Faculty members with a part-time or temporary appointment. However, faculty members who have been awarded part-time tenure as established by previous Board policy and those who accept a part-time appointment after being awarded tenure in a full-time position shall continue to have such tenure recognized.

b. An institution's president.

ii. The Board may, following review and recommendations made pursuant to the procedures established at an institution award tenure in exceptional circumstances, defined by the institution's procedures, to an institution's chief academic officer or to any other person appointed to the faculty who has not met the eligibility requirement of subdivision 3(c) of this policy, provided that the person, at the time tenure is granted, has:

a. held a tenured appointment at another institution, or

b. been a faculty member at the institution for at least one prior academic year.

iii. The Board may, following review and recommendation made pursuant to the procedures established at an institution award tenure in exceptional circumstances, defined by the institution's procedures, to any person appointed to the faculty who has not met the eligibility requirements of subdivisions 3(b) and 3(c) of this policy, provided that the person has a documented record of outstanding achievement and consistent excellence in a discipline or profession gained through research, scholarly or professional activities, or service.

c. SPECIAL APPOINTMENTS do not involve either tenure credit or status. Special appointments are all appointments except tenured or probationary appointments, including:

i. Courtesy adjunct appointments awarded in accordance with Board policy to professional people who contribute to the academic or research program of the institution; [No implementation required]

iii. Appointments of retired faculty members on special conditions; [No implementation required]

iv. Initial appointments supported wholly or partially by other than state appropriated funds; [No implementation required]

v. Appointments clearly limited to a brief association with the institution, as defined by the institution;

vi. Terminal appointments given with notice of non-renewal to faculty members who were previously on probationary appointment. A terminal appointment with notice of non-renewal must be given to a faculty member no later than the end of the sixth year of probationary appointment if the decision is made to deny tenure; [No implementation required]

vii. Part-time faculty;

viii. Lectureship appointments, which shall be for performance of specifically assigned academic duties only, without general faculty responsibilities;

ix. Members of the faculty appointed to lectureship positions, who wish to serve on the University Senate, University Senate Committees, and or the Council of College Faculties may do so. Membership or service does not change appointment criteria outlined in NDUS policy.

xii. Other faculty appointments, not probationary or tenured, that are designed to help fulfill the institution's mission or meet long-term needs. The appointments shall be subject to an agreement describing the faculty member's duties and goals, criteria and weight assigned each criteria for evaluation. The term of an appointment and agreement, or renewal thereof, may not exceed three years. The faculty member's performance and achievement of goals shall be evaluated during the final year of an appointment. An appointment may be renewed only if the evaluation demonstrates satisfactory performance.

5. The general terms and conditions of appointment shall be provided the appointee in a written contract. The contract shall state whether the appointment is probationary, tenured or special. The term of a contract, except contracts made pursuant to paragraph 4(c)(xi), shall generally not exceed one year. A multiple-year contract must be subject to termination upon discontinuance of the program in which the faculty member is employed, non-appropriation or loss of funds, or other financial exigency. For faculty on nine- or ten-month contracts covering the traditional academic year (generally, August to May), institutions shall, not later than June 30 each year, provide notice of renewal terms with a contract, agreement or appointment letter to be signed by both parties. Absent good cause or agreement extending or establishing a different deadline, faculty must sign and return a contract or other document indicating acceptance of contract terms not later than July 20. Institutions shall establish procedures providing that failure to return a signed contract or other document indicating acceptance of contract terms by July 20 constitutes a resignation resulting in termination of employment, effective July 20, except for good cause shown by the faculty member or unless the institution has granted an extension. Prior to the end of the spring semester each year, institutions shall provide notice to faculty summarizing the process and deadlines for contract renewal, including information on extending deadlines to accommodate faculty who may be traveling or not able to readily receive and respond to communications during summer months.

6. The institutional process for evaluation of faculty, the criteria and minimum expectations for promotion and for tenure, and provisions concerning required notices, shall be made known to the appointee at the time of appointment. This disclosure may be accomplished by a published description of the process, criteria, and expectations in a faculty handbook or similar document. Such provisions are subject to change according to processes established for adoption or amendment of Board and institutional policies. Institution procedures shall provide for annual evaluation of all full-time faculty. The procedures shall include provisions requiring that evaluations are completed in a timely and appropriate fashion and that the institution takes appropriate remedial action in response to unsatisfactory evaluations. Evaluation criteria shall relate to a faculty member's duties and goals and be appropriately weighted in accordance with the terms of the faculty member's contract. Evaluations of all teaching faculty must include significant student input.

1. Each institution shall have a Standing Committee on Faculty Rights consisting of three or five tenured faculty members elected for staggered terms by the faculty governance structure. The Committee shall elect its own presiding officer annually and shall hold formal hearings in accordance with the procedures described in section 605.4 on all matters referred to it under these policies. The Committee shall judge any allegation of bias or conflict of interest. In the event that an individual member is judged by the Committee to be biased or to have a conflict of interest in a specific case, the Committee shall replace the member with a substitute member for that case.

3. Chapter 44-04 of the North Dakota Century Code, relating to open meetings and records, including section 44-04-19.2 concerning confidential or closed meetings, applies to Standing Committees on Faculty Rights. Pursuant to N.D.C.C. § 44-04-20, each committee chair shall file in the president's office the name, address, and telephone number of a person who may be contacted to obtain information concerning meetings or to request notice of meetings. Proceedings concerning the appointment or removal, including non-renewal, of a faculty member may, pursuant to N.D.C.C. § 15-10-17 , be closed, unless the faculty member requests that the proceedings be open, in which case the proceedings shall be open. Proceedings not concerning the appointment or removal of a faculty member, including proceedings concerning discipline not involving dismissal, shall be open.

The University of North Dakota Standing Committee on Faculty Rights shall consist of five tenured faculty members to be elected one per year for staggered terms of five years each by the Senate.

8.1.3 Non-Renewal, Termination or Dismissal of Faculty

1. A probationary appointment may be terminated, without cause, with notice to the faculty member that the appointment will not be renewed.

a. Notice shall be given:

i. At least 90 days prior to termination during the first year of probationary employment at the institution.

ii. At least 180 days prior to termination during the second year of probationary employment at the institution.

iii. At least one year prior to termination after two or more years of probationary employment at the institution.

b. A department chair, dean or other person authorized under institution policies to give such notice shall provide written notice of the decision, including a reference to the policy section pursuant to which the action is taken. The faculty member may within ten calendar days after receipt of the notice request a reconsideration by the deciding body or individual. The faculty member may incorporate a request for mediation in the request for reconsideration. The institution shall respond in writing to the faculty member within ten calendar days after receipt of the request

Implementation at the University of North Dakota:

Notice to the faculty member may be achieved by any of the following methods: certified mail; placement in the office mailbox; or hand delivered to the faculty member. Date of notification is the date on which the faculty member was presented with the letter in person; it was delivered to the office mailbox; or when received by certified mail, whichever receipt is earliest.

2. An institution may terminate a probationary appointment effective at the end of any contract term, with no less than 90 days notice of nonrenewal based upon a determination by the Board that a financial exigency exists which requires such action at an institution or institutions, or upon determination by the institution that such action is necessary because of loss of legislative appropriations, loss of institutional or program enrollment, consolidation of organizational units or program areas or elimination of courses. The notice of nonrenewal shall include a reference to the policy section pursuant to which the action is taken. When a probationary appointment is terminated pursuant to this subsection, the provisions of subsection 1 do not apply.

3. A special appointment terminates at the end of the term stated on the contract and may be renewed at the discretion of the institution.

Implementation at the University of North Dakota:

A special appointment ends at the end of the contract term and is renewed at the discretion of the institution. No notice is required.

4. A faculty member on probationary or special appointment may, within twenty calendar days after receipt of notice of nonrenewal of a probationary appointment or termination of a special appointment or, if the faculty member requests reconsideration or the parties agree to mediation under paragraph b of subsection 1, within twenty calendar days of receipt of the results of the reconsideration or conclusion of mediation, request review of the decision and a hearing by the Standing Committee on Faculty Rights by filing written notice with the deciding body or individual and the chair or the senior member of the Standing Committee on Faculty Rights. The request for review may be based on allegations that the institution failed to comply with applicable policies or gave the decision inadequate consideration, or that the nonrenewal decision violated (a) academic freedom, (b) rights guaranteed by the United States Constitution, or (c) terms of the employment contract or other written agreement. The allegation must be supported by a specification of the reasons why the decision violated these rights and a summary of the evidence supporting the allegation(s). The institution shall, within twenty calendar days of receipt of the written notice and specifications, provide a written response to the faculty member and the chair of the Standing Committee on Faculty Rights.

Implementation at the University of North Dakota:

Within 20 business days of notification of non-renewal or termination of a special appointment, the formal written grievance must be given to the Chair of the Standing Committee on Faculty Rights (SCFR) and the President of the University of North Dakota. The faculty member (Grievant) must deliver to the Chair of SCFR, a minimum of 8 copies of the grievance. One copy of the grievance will be kept for the final report, 5 will be distributed to SCFR members, to the external hearing officer, and one copy will be given to each person against whom the grievance is brought. Within 20 business days, the institution will provide 8 copies of its response to the SCFR Chair. If the date the information is due falls on a Saturday, Sunday, or University holiday, the response is due the following day. All information must be delivered by 4:30 p.m. on the day it is due to the office of the SCFR Chair. The SCFR Chair will be responsible for disseminating all copies to the parties and the SCFR members.

A Grievant may request a review of her/his case and a hearing by SCFR. The request for review may be based upon allegations that the institution failed to comply with applicable policies or gave the decision inadequate consideration, or that the non-renewal decision violated his/her academic freedom, rights guaranteed under the United States Constitution, or that the University violated the terms of his/her employment contract or other written agreement. SCRF is free to consider any or all of the bases in the appeal of the non-renewal, but the faculty member must specify the basis of her/his appeal in the request and the faculty member must provide a summary of the supporting evidence. Note that proof that the Grievant was doing excellent work, performing his/her responsibilities in exemplary fashion, is not generally a permitted basis for appeal. Excellent performance of the Grievant's responsibilities would only prevent a non-renewal if the University had expressly promised to renew his/her contract if her/his performance was excellent. In proceedings brought before SCFR under this section, the Grievant has the burden to prove to SCFR, by a preponderance of the evidence, that the Grievant's rights of the kind protected have been violated. SCRF determines the level of specification and adequacy of the evidence.

Mediation may be requested by the Grievant. SBHE Policy 605.5 covers mediation.

5. A faculty member may terminate an appointment by giving notice in writing. Faculty are encouraged to give notice well in advance of the date of termination of employment at the end of a contract term. For the purpose of determining eligibility for participation in the state uniform group insurance program during summer months only, the effective date of termination of a faculty member with a nine- or ten-month contract covering the regular academic year (generally, August to May) who gives notice of resignation prior to the end of the contract term but completes the contract term, or who completes the contract term and then gives notice of resignation before the beginning of the next regular contract term or does not return to work for the next regular term, is July 2. This provision does not apply if a faculty member's spouse is employed by the state and eligible for participation in the state uniform group insurance program during the summer months. Also, this provision does not apply if employment is terminated and a faculty member does not complete the contract term or if a faculty member provides notice of other health plan coverage during the summer months. If a faculty member with a nine- or ten-month contract also has a contract for the summer term and resigns but completes the term, the effective date of termination is July 2 or the ending date of the summer term contract, whichever is later.

6. An institution may terminate an appointment of a tenured faculty member following a determination by the Board that a financial exigency exists which requires such action at an institution or institutions, or upon determination by the institution that such action is necessary because of loss of legislative appropriations, loss of institutional or program enrollment, consolidation of academic units or program areas, or elimination of courses. In such cases, significant consideration shall be given to length of service and tenure status in the retention of faculty members within the affected academic unit or program area, curriculum requirements, professional achievements, breadth of competence, and equal employment opportunity. A tenured faculty member terminated pursuant to this subsection shall be given written notice of termination, including the reason(s) for the action, at least twelve months prior to the date of termination. Each institution shall establish procedures for implementing this policy.

a. A tenured faculty member given notice of termination under this section may request that the institution circulate his or her vita to other academic units or program areas within the institution. In addition, the institution shall ensure that fair consideration is given to the faculty member, during the period of the terminal appointment, for vacant academic positions in the employing institution for which the faculty member is qualified. The faculty within any academic unit or program area shall have the major responsibility in determining qualifications for appointment therein. If a tenured faculty member accepts an appointment in a different academic unit or program area, the faculty member shall retain his or her tenure status, subject to approval of the Board.

b. A position terminated under this section shall not be filled by a replacement within two years, unless the released faculty member has been offered appointment with tenure and a reasonable time within which to accept or decline it.

c. The provisions of section 605.4 do not apply when a tenured faculty member is terminated under this subsection. The faculty member may, however, within twenty calendar days of receipt of notice of termination, file a request for review under processes established at the institution for that purpose.

7. In accordance with section 305.1 of these policies, the faculty governance structure at each institution shall adopt procedures by which faculty participation is solicited before notice of termination is given any tenured faculty member pursuant to subsection 6. Faculty participation shall be solicited concerning:

a. The extent to which there are grounds for termination of tenured appointments;

b. Judgments determining where within the overall academic program termination of appointments may occur; and

c. The procedure and criteria for identifying the individuals whose appointments are to be terminated.

8. A faculty member may be dismissed at any time for adequate cause. Adequate cause means: (a) demonstrated incompetence or dishonesty in teaching, research, or other professional activity related to institutional responsibilities, (b) continued or repeated unsatisfactory performance evaluations and failure to respond in a satisfactory manner to a recommended plan for improvement; (c) substantial and manifest neglect of duty, (d) conduct which substantially impairs the individual's fulfillment of his or her institutional responsibilities or the institutional responsibilities of others, (e) a physical or mental inability to perform assigned duties, provided that such action is consistent with laws prohibiting discrimination based upon disability, or (f) significant or continued violations of Board policy or institutional policy, provided that for violations of institutional policy the institution must notify the faculty member in advance in writing that violation would constitute grounds for dismissal, or the institutional policy must provide specifically for dismissal as a sanction.

Implementation at the University of North Dakota:

The review of SCFR is focused on whether or not the facts and/or circumstances exist, which the University asserts show adequate cause for dismissal.

a. An authorized institution officer shall give written notice of intent to dismiss and specify the reasons for the action. The officer may, in the officer's discretion, also schedule a meeting with the faculty member to discuss the action. The notice shall state that the officer will forward to the institution president a recommendation to dismiss unless the faculty member, within twenty calendar days of receipt of the notice, requests a hearing before the Standing Committee on Faculty Rights. If the faculty member does not make a timely request for a hearing, the president, upon receipt of a recommendation to dismiss, shall make a decision and provide written notice and reasons for the action to the faculty member within ten business days of receipt of the recommendation.

Implementation at the University of North Dakota:

The University may dismiss a faculty member at any time for "adequate cause." The University's notice of intent to dismiss must specify the grounds upon which the request is made and must be made to the faculty member and the Vice President for Academic Affairs and Provost. A Grievant may request a hearing before SCFR within 20 business days of receiving notice of the University's intent to dismiss for adequate cause. If the Grievant does not make a timely request for a hearing, the Provost will forward the information to the President, who upon receipt of a recommendation to dismiss, shall make a decision and provide written notice and reasons for the action to the faculty member within 10 business days of receipt of the recommendation.

b. A faculty member may, within twenty calendar days of receipt of notice of intent to forward to the institution president a recommendation to dismiss, request a formal hearing before the Standing Committee on Faculty Rights, pursuant to section 605.4.

Implementation at the University of North Dakota:

A faculty member may, within 20 business days of receipt of notice of intent to forward to the University's Provost a recommendation to dismiss, request a formal hearing before the Standing Committee on Faculty Rights, pursuant to section 605.4.

c. Pending a final decision on dismissal for adequate cause, the faculty member may be suspended by the institution's president or assigned to other duties in lieu of suspension, if it is reasonably determined that it is in the best interests of the faculty member or the institution to do so. The faculty member's salary and fringe benefits shall continue during a period of suspension. Salary and benefits shall be terminated upon a final decision by the institution president to dismiss the faculty member following conclusion of proceedings at the institution.

Implementation at the University of North Dakota:

Pending a final decision on dismissal for adequate cause, the faculty member may be suspended by the Provost or assigned to other duties in lieu of suspension, if it is reasonably determined that it is in the best interests of the faculty member or the University to do so. The faculty member's salary and fringe benefits shall continue during a period of suspension. Salary and benefits shall be terminated upon a final decision by the President to dismiss the faculty member following conclusion of proceedings at the institution.

9. If the administration determines that the conduct of a faculty member, although not constituting ground for termination or dismissal, provides reasonable cause for imposition of a sanction, the administration shall inform the faculty member in writing of the sanction and the reasons for the sanction. A sanction means demotion, suspension (but not including suspension pending a dismissal or termination decision), salary reduction or loss of salary, or restriction or loss of privileges imposed as a formal disciplinary measure. A sanction does not include implementation of an improvement plan or performance action plan or negative comments in a performance review, letter of reprimand or other document placed in a personnel file; rights to respond to a performance review or to a letter of reprimand or other document placed in a personnel file are set forth in N.D.C.C. § 54-06-21 and institution grievance procedures adopted under SBHE Policy 612. If the sanction is imposed following a hearing by the Standing Committee on Faculty Rights and based on the hearing record, there is no further review. If the sanction is imposed without a hearing, the faculty member may request review upon filing with the institution's president and chair or senior member of the Standing Committee on Faculty Rights a request for review and specifications of reasons within twenty calendar days of receipt of notice of imposition of a sanction. The institution shall have twenty calendar days following receipt of the request for review to file a response. The Standing Committee on Faculty Rights shall review the matter according to procedures established at the institution for that purpose and issue a written report within twenty calendar days of receipt of the institution's response and may make a recommendation to resolve the dispute, stating its reasons. The institution shall make its final decision upon reconsideration and provide written notice of that decision to the faculty member within ten days of receipt of the report and recommendation of the Standing Committee on Faculty Rights. Upon filing of a request for review pursuant to this subsection, imposition of the sanction shall be suspended pending a final decision of the institution's president following conclusion of those proceedings.

Implementation at the University of North Dakota:

If the administration determines that the conduct of a faculty member, although not constituting ground for termination or dismissal, provides reasonable cause for imposition of a sanction, the administration shall inform the faculty member in writing of the sanction and the reasons for the sanction. A sanction means demotion, suspension (but not including suspension pending a dismissal or termination decision), salary reduction or loss of salary, or restriction or loss of privileges imposed as a formal disciplinary measure. A sanction does not include implementation of an improvement plan or performance action plan or negative comments in a performance review, letter of reprimand or other document placed in a personnel file; rights to respond to a performance review or to a letter of reprimand or other document placed in a personnel file are set forth in N.D.C.C. § 54-06-21 and institution grievance procedures adopted under SBHE Policy 612. If the sanction is imposed following a hearing by SCFR and based on the hearing record, there is no further review by SCFR. If the sanction is imposed without a hearing, the Grievant may request review upon filing with the University's Provost and SCFR Chair a request for review and specifications of reasons for the review within 20 business days of receipt of notice of imposition of a sanction. The University shall have 20 business days following receipt of the request for review to file a response. SCFR shall review the matter according to procedures established at the institution for that purpose and issue a written report within 20 business days of receipt of the University's response and may make a recommendation to resolve the dispute, stating its reasons. The University shall make its final decision upon reconsideration and provide written notice of that decision to the Grievant within 10 business days of receipt of the report and recommendation of SCFR. Upon filing of a request for review pursuant to this subsection, imposition of the sanction shall be suspended pending a final decision of the President following conclusion of those proceedings.

1. A faculty member may request a hearing with the Standing Committee on Faculty Rights by filing a written notice, accompanied by a specification of the reasons or the groundsupon which the request is based, with the Committee chair or senior member of the Committee and the institution's president. The institution shall have ten business days from receipt by its president of the notice and specifications to file a response with the Committee Chair or senior member of the Committee and the faculty member.

Implementation at the University of North Dakota:

The faculty member (Grievant) must request either a hearing or stipulate to a decision on the basis of written statements i.e. paper review. This request must be accompanied by a detailed specification of the reasons or grounds on which the grievance is based. The grievance must be given to the Chair of the Standing Committee on Faculty Rights (SCFR) and the President of the University of North Dakota. The Grievant must deliver to the Chair of SCFR, a minimum of eight copies of the grievance. Five copies will be distributed to SCFR members, one for the external hearing officer, one copy will be given to each person against whom the grievance is brought, and one copy of the grievance will be kept for the final report. Within 20 (twenty) business days, the institution will provide eight copies of its response to the SCFR Chair. In its response, the Institution will also specify whether or not it agrees to stipulate to a paper review. Both the Grievant and the Institution must agree to a paper review. The SCFR Chair will be responsible fordisseminating all copies to the parties and the SCFR members.

2. The Committee shall appoint, at the expense of the institution according to institution procedures, a hearing officer with authority to conduct pre-hearing meetings, supervise exchange or collection of information, advise the Committee or preside over the hearing. The faculty member, the institution and their representatives shall comply with all reasonable directives and requests of the hearing officer appointed by the Committee. The institution shall provide necessary clerical support for the Committee and, upon request, for the hearing officer.

Implementation at the University of North Dakota:

The hearing officer may be internal or external to SCFR or the faculty at UND. The Grievant will identify whether he or she has a representative and, if so, indicate whether the release of information should be to that representative or the Grievant. A hearing officer will not be appointed if the Grievant and the Institution have stipulated to a decision made on the basis of a paper review.

3. The Committee or the hearing officer shall hold a pre-hearing meeting or meetings in order to (a) simplify the issues, (b) effect stipulations of facts, (c) provide for the exchange of documentary or other information, or (d) achieve such other appropriate prehearing objectives as will make the hearing fair, effective, and expeditious. The faculty member, the institution and their representatives shall participate in pre-hearing meetings upon request and comply with the directives of the Committee or the hearing officer. Discovery shall be informal and formal depositions or interrogatories for the purposes of discovery are not permitted, except with agreement of the parties.

Implementation at the University of North Dakota:

When pre-hearing meeting(s) is held, attendees and purpose must be defined: 1) attendees: SCFR (or just the SCFR Chair or a committee member(s) or another person if designated by the entire SCFR), and the parties and their representatives. 2) purpose: simplify the issues, make stipulations, exchange documentary or other information, and other objectives to make the hearing fair, effective, and expeditious. The SCFR should:

a. require the parties to exchange eight (8) copies of witness lists and specify subject matter of testimony and any exhibits allowing both parties to supplement their documentation within fifteen calendar days after the original exchange, if necessary;

c. have faculty member state, in writing, if she/he wishes an open or (to protect privacy) a closed hearing—the selection of a closed hearing will result in a closed deliberation. If the hearing has been designated as open, it must be noticed to the public;

d. set the date(s) of the hearing; and

e. try to resolve any other preliminary matters that may arise.

4. The Committee or the hearing officer shall serve written notice of hearing on the faculty member and the president or their representatives at least twenty calendar days prior to the hearing.

Implementation at the University of North Dakota:

The Committee will serve the written notice.

5. The faculty member and the institution may stipulate to a decision on the basis of the written statements, in which case the Committee shall make its decision on that basis.

Implementation at the University of North Dakota:

At the time of the pre-hearing, the Committee will request of all parties as to whether they would stipulate to a decision by SCFR based only on their written statements and accompanying documentation.

6. During the proceedings the institution and the faculty member are entitled to have an administrative or academic advisor and counsel of their own choice and at their own expense. Proceedings concerning the appointment or removal of a faculty member may, pursuant to N.D.C.C. section 15-10-17, be closed, unless the faculty member requests that the proceedings be open in which case the proceedings shall be open. Proceedings not concerning the appointment or removal of a faculty member, including proceedings concerning discipline not involving dismissal, shall be open.

Implementation at the University of North Dakota:

At the pre-hearing, the Grievant will be required to state, in writing, if she/he wishes an open or (to protect privacy) a closed hearing—the designation of a closed hearingwill result in a closed deliberation.

7. A verbatim transcript of the hearing or hearings shall be made at the institution's expense, and shall be accessible to both parties. A party shall be provided a copy of the record, or part of the record, upon request, at the institution's expense.

Implementation at the University of North Dakota:

a. A verbatim transcript of the hearing is required. There will be no transcript of deliberations although an audio recording will be made.

b. The Grievant may request the entire transcript or a portion thereof; it will be provided only after the Committee issues its report to the President. The transcript will be made be made available through the Office of General Counsel at no charge to the Grievant. The copy provided to the Grievant will be a condensed version with four pages to each printed page. Although portions of the hearing may be taped for the convenience of the Committee, that tape is not available to the parties.

8. The findings of fact, conclusions and the decision shall be based solely on the evidence received by the Committee. In cases brought under section 605.3(4), the faculty member has the burden of persuasion to prove, by a preponderance of the evidence, that the action violated the faculty member's rights; in cases pursuant to section 605.3(8) or (9), the burden of proof that grounds for the institution's action exist shall rest with the institution and be satisfied only by clear and convincing evidence in the record considered as a whole.

Implementation at the University of North Dakota:

The findings of fact, conclusions and the decision shall be based on the evidence received by the committee. That will include documents provided to the committee by all parties. In addition, the evidence will include testimony taken along with associated exhibits entered into the record.

9. The Committee may admit any evidence which is of probative value in determining the issues or if the interests of justice will best be served by admitting the evidence. Every reasonable effort shall be made to obtain the most reliable evidence available. The Committee shall grant adjournments to enable either party to investigate evidence as to which a valid claim of surprise is made.

Implementation at the University of North Dakota:

This is a faculty hearing or review process, not a court of law, thus the Committee may accept any evidence and determine its value and credibility. Whether valid surprise has occurred shall be determined by the Committee. Furthermore, the necessity and duration of any adjournment will be made by the Committee.

10. The faculty member shall be afforded an opportunity to obtain necessary witnesses and documentary or other evidence. The institution shall cooperate with the Committee in securing witnesses and making available documentary and other evidence. The faculty member and the institution shall have the right to confront and cross-examine all witnesses. Testimony may be taken by deposition, including deposition by telephone, or witnesses may testify by telephone, facsimile, video or other electronic means upon agreement of the parties or, absent an agreement, upon request of a party and determination by the Committee or hearing officer that such use does not substantially prejudice the rights of any party. Affidavits may be received into evidence uponstipulation of the parties.

Implementation at the University of North Dakota:

The Committee expects the full and unqualified cooperation of all parties and, when hearing are held, witnesses. Failure to comply may result in the Committee seekingappropriate administrative action.

11. The Committee's findings of fact, conclusions and recommendations, with supporting reasons, shall be reported, in writing, to the institution's president and the faculty member or the faculty member's representative. If the institution's action was a notice of dismissal and if the Committee concludes that adequate cause for dismissal has been established, but that a lesser penalty would be more appropriate, it may so recommend with supporting reasons. The president shall make a decision and provide written notice of the decision, including findings of fact and reasons or conclusions based on the hearing record, to the Committee and the faculty member within twenty calendar days of receiving the report. The faculty member or Committee may, within ten calendar days of the decision, submit a written response to the decision, to which the president may reply.

Implementation at the University of North Dakota:

A copy of the Committee's findings of fact, conclusions and recommendations withsupporting reasons, will be given to all parties. If the Grievant has indicated thatthe release of information should go to the Grievant's representative, the Committee's findings of fact, conclusions and recommendations with supportingreasons, will be sent to the representative.

1. "Mediation" means a process in which a mediator facilitates communication between parties to assist the parties in reaching voluntary decisions related to their dispute.

Implementation at the University of North Dakota:

Board of Higher Education policy recommends mediation as an option of all parties for faculty complaints under SBHE Policy 605.3, except for dismissals for adequate cause, for which mediation is not permitted and as mandatory under SBHE Policy 612. Mediation is also not allowed when the individual is dismissed for reasons of financial exigency.

2. This policy applies to faculty as defined in section 605.1 of these policies. It does not apply to employees governed by the NDUS Human Resource Policy Manual or to administrators or coaches, in their administrative or coaching capacity. Mediation is available upon agreement of the parties under section 605.3, except subsection 8, of these policies. Mediation is not available in proceedings initiated under subsection H of section 605.3. For other proceedings governed by section 605.3, a faculty member or the administration may request mediation and mediation shall proceed upon agreement of the parties. As used in this policy, "administration" means any person who has acted on behalf of the institution under section 605.3. For grievances governed under section 612 of these policies, participation in mediation by all parties is mandatory, which means that parties are required to participate in at least one mediation session.

Implementation at the University of North Dakota:

Requesting mediation under Board SBHE Policy 605.3. Requests for mediation under SBHE Policy 605.3 must be made in writing to the Chair of the University Senate. Requests must fully identify the requester and all other persons involved in the matter or action, and describe the matter or action for which mediation is requested. A copy of the written request must be provided to each person identified in the request. When the Chair of the University Senate is involved in the matter or action for which mediation is requested, the request should be made to the Vice Chair of the University Senate. When the Chair believes she or he has a disqualifying conflict of interest in the subject matter of a particular mediation request, the Chair of the University Senate shall forward such request to the Vice Chair. In any case in which the request is made or passed to the Vice Chair, the Vice Chair shall perform the responsibilities of the Chair assigned in this policy for the duration of that matter.

Mediation of a grievance under SBHE Policy 612. Faculty grievances filed under SBHE Policy 612 are subject to mandatory mediation, which means all parties must participate in at least one mediation session. Faculty grievances must be made in writing to the Chair of the University Senate. Grievances must fully identify the grievant and all other persons involved in the matter or action, and describe the matter or action grieved. A copy of the written request must be provided to each person identified in the request. As described above when the Chair has a conflict of interest, the Vice Chair shall serve as Chair for the purpose of the grievance.

3. The following mediation procedures and time lines apply to section 605.3 of these policies:

a. A faculty member or the administration may request mediation in accordance with institutional policy.

b. Within 15 calendar days of receipt of the written request, the mediator shall meet with identified parties to explain the mediation process.

Implementation at the University of North Dakota:

The parties shall attend the first mediation session and cooperate with the mediator in accord with the documented agreement to mediate and in accord with the mediator's requests. The first mediation session begins a twenty-calendar day "mediation period" (or a mutually agreed upon mediation period) during which the parties shall cooperate with the mediator in a good faith attempt to resolve the dispute.

c. If identified parties agree to mediate, the mediator shall schedule a first mediation session within 10 calendar days of reaching an agreement to mediate. Upon agreement to mediate, other internal proceedings and the time lines provided for those other proceedings shall be stayed pending conclusion of mediation.

Implementation at the University of North Dakota:

Requesting mediation under Board SBHE Policy 605.3. Requests for mediation under SBHE Policy 605.3 must be made in writing to the Chair of the University Senate. Requests must fully identify the requester and all other persons involved in the matter or action, and describe the matter or action for which mediation is requested. A copy of the written request must be provided to each person identified in the request. When the Chair of the University Senate is involved in the matter or action for which mediation is requested, the request should be made to the Vice Chair of the University Senate. When the Chair believes she or he has a disqualifying conflict of interest in the subject matter of a particular mediation request, the Chair of the University Senate shall forward such request to the Vice Chair. In any case in which the request is made or passed to the Vice Chair, the Vice Chair shall perform the responsibilities of the Chair assigned in this policy for the duration of that matter.

d. The first mediation session begins a 20 calendar-day period or a mutually agreed upon mediation period during which participants attempt to resolve the dispute. At the conclusion of the mediation period, the mediator shall notify the appropriate institutional representatives in accordance with institutional policy whether or not the issues have been resolved.

4. The following mediation procedures and time lines apply to section 612 of these policies:

a. Participation in mediation is mandatory in connection with grievances under section 612 of these policies. Other internal proceedings and the time lines provided for those other proceedings shall be stayed pending conclusion of mediation.

Implementation at the University of North Dakota:

Under SBHE Policy 612, a faculty member harmed by University action may file a grievance alleging violation of a specific Board Policy, a specific institutional policy, a Board or institutional procedure pertaining to the faculty member's employment, a Board or institutional practice pertaining to the faculty member's employment, or the faculty member's contract of employment. A faculty member may also file a grievance over discretionary actions, such as salary adjustments and performance evaluations, but only to determine whether the discretionary action was made in accordance with relevant Board or Institutional policies, practices, procedures, or criteria and constituted a clear abuse of discretion. A faculty member may not file a grievance under SBHE Policy 612 regarding matters covered by SBHE Policy 605.3 (Non-renewal, Termination or Dismissal of Faculty) or 605.4 (Hearings and Appeals).

Faculty grievances filed under SBHE Policy 612 are subject to mandatory mediation, which means all parties must participate in at least one mediation session. Faculty grievances must be made in writing to the Chair of the University Senate. Grievances must fully identify the grievant and all other persons involved in the matter or action, and describe the matter or action grieved. A copy of the written request must be provided to each person identified in the request. As described in UND implementation 605.3(2), when the Chair has a conflict of interest, the Vice Chair shall serve as Chair for the purpose of the grievance.

b. Within 15 calendar days of receipt of the written grievance the mediator shall meet with identified parties to explain the mediation process.

Implementation at the University of North Dakota:

Within fifteen calendar days of the mediator's receipt of the written grievance, the mediator meets with the parties to explain the mediation process and to set the time, date, and place of the first mediation session.

c. The mediator shall schedule a first mediation session within ten calendar days of the meeting under subsection 4b.

d. The first mediation session begins a 20 calendar-day period or a mutually agreed upon mediation period during which participants attempt to resolve the dispute. At the conclusion of the mediation period, the mediator shall notify the appropriate institutional representatives in accordance with institutional policy whether or not the issues have been resolved.

Implementation at the University of North Dakota:

The parties shall attend the first mediation session and cooperate with the mediator in accord with the documented agreement to mediate and in accord with the mediator's requests. The first mediation session begins a twenty-calendar day "mediation period" (or a mutually agreed upon mediation period) during which the parties shall cooperate with the mediator in a good faith attempt to resolve the dispute.

5. Mediators may be selected by agreement of the parties. If the parties do not agree on a mediator, a mediator shall be assigned by the North Dakota University System staff from a pool of trained, volunteer mediators available through the NDUS office. The College of Council Faculties may offer its advice and recommendations concerning selection of the mediation pool.

Implementation at the University of North Dakota:

The Chair of the University Senate shall, with the assistance of the Director of the UND Conflict Resolution Center, and with the assistance of other agencies in the State and region that maintain lists of mediators, keep a list of qualified mediators located in Grand Forks and the immediate region. To be qualified for inclusion on the list, a mediator must be: (1) trained in mediation; (2) current in the theory and practice of mediation as evidenced by recent experience and continuing education/training.

The Chair of the University Senate shall promptly provide the faculty member who filed a grievance or requested mediation with the names of mediators then on the approved list.

Within three business days of receiving the list of approved mediators from the Chair, the faculty member who filed a grievance or requested mediation shall select a mediator and notify the Chair and the other person(s) named in the request for mediation. Within three business days of receiving the faculty member's notice, the other party to the mediation may submit a written objection to the Chair. When the Chair receives the objection, the faculty member shall begin the process again with a new selection. If no mediator has been successfully selected within ten business days of the date the first selection was provided to the Chair, the Chair upon agreement of all parties, may name a mediator from the list or defer the decision to the North Dakota University System office, who will name a mediator. If the parties do not agree to have the chair make the selection of a mediator, the choice will be made by the North Dakota University System Office from the approved list of mediators.

6. Mediators shall facilitate and coordinate the process. Mediators may not issue orders, find fault, impose solutions, or make decisions for the mediation participants.

Implementation at the University of North Dakota:

During the mediation period, the mediator will attempt to assist the parties in the resolution of their dispute by facilitation and coordination. The mediator is neither expected nor authorized to issue orders, find fault, impose solutions, or make decisions for the parties.

At the conclusion of the mediation period, the mediator shall inform all parties, in writing that an agreement was reached.

If the mediation fully resolves the dispute, the action or matter on which mediation was requested shall be considered concluded. The mediator shall then inform the Chair a successful mediation has occurred.

If a mediation requested fails to resolve the dispute fully, the mediator shall inform in writing all parties, including the Chair that an agreement was not reached. The Chair shall then direct the faculty member to any other relevant portion of these policies governing other courses of action for issues covered under SBHE Policy 605.3 or 612.

Neither the Standing Committee on Faculty Rights nor any Special Review Committee shall receive nor use in any way written products produced (except for notification of the results of the mediation) or observations made by a mediator in any mediation. No person interested in any mediated matter which later comes before the Standing Committee on Faculty Rights or any Special Review Committee shall offer or use in any way written products produced (except for notification of the results of the mediation) or observations made by a mediator in a mediation.

7. All time lines in this section are suspended between May 16 and August 15 as to all nine-month faculty unless all parties expressly waive the suspension.

Implementation at the University of North Dakota:

All time lines in this section 605.5 are suspended for nine-month faculty when they are not on contract, unless all parties expressly waive the suspension.

8.2 UND ADMINISTRATIVE GUIDELINES FOR DEVELOPMENT OF TENURE RECOMMENDATIONS

A. Although decisions to recommend tenure involve some of the criteria which apply to decisions involving salary adjustments and promotions, there are additional considerations which apply to tenure recommendations, such as budgetary concerns, balance within the departments, projected enrollments, retrenchment, etc. The award of salary increases and promotions should not necessarily lead a faculty member to expect tenure will be recommended.

B. In making recommendations in regard to tenure, the departments/colleges may establish their own standards as long as they are in conformity with Board tenure policies, the University Constitution, Senate Bylaws, and recognized University-wide interpretations as recorded in the Faculty Handbook.

C. In order for advanced tenure credit to be awarded for any year of University of North Dakota service funded with non-appropriated money, whether full or part-time, the faculty member must have been evaluated during the service in question in accordance with regular department/college evaluation procedures. When prior tenure credit for previous professional experience is also involved, it will be considered at the same time.

D. When a faculty member begins a tenure eligible appointment midyear, he/she is normally considered for tenure with the group who started at the beginning of that appointment year.

E. Early tenure (after four or five years) will be recommended only in exceptional cases.

Implementation at the University of North Dakota:

The probationary period of six years of continuous academic service to the institution may be shortened under those unusual circumstances when the faculty member's qualifications support a grant of early tenure in less time than the ordinary probationary period. In these cases, the faculty member bears the burden of demonstrating that his or her achievements unequivocally meet the stated criteria for tenure as established by the University in I-8.1.1(3)(b). The evaluation for the award of early tenure shall proceed in accordance with the procedures used for ordinary tenure reviews.

A faculty member may be considered for early tenure only once. If a faculty member does not receive a favorable evaluation for the award of early tenure, his or her established probationary period will continue, at the end of which their ordinarily scheduled evaluation for tenure will occur.

F. Under normal circumstances, an administrative officer initially appointed to the University of North Dakota in a nonacademic administrative position will not be given tenure eligible rank or be recommended for tenure as a result of time spent in the administrative position.

If a probationary faculty member at UND moves into a full-time non-academic administrative position, he/she will not continue to accrue credit toward tenure while in that administrative position. A faculty member already tenured will retain tenure.

Any recommendation regarding academic rank for a non-academic administrator will be made by the dean, only upon recommendation of the faculty of the college/department*.

G. The tenure eligibility of faculty at UND will be based on two criteria: Source of funding and academic title, i.e., in order for faculty members to be considered tenure eligible, they must (a) be initially (or subsequently) fully funded from State General Fund appropriations assigned to an academic salary budget responsible to the Vice President for Academic Affairs** and (b) carry in an academic department/college a probationary academic title (Instructor, Assistant Professor, Associate Professor, Professor). Failure to satisfy both of these conditions simultaneously eliminates the position from tenure eligibility*.

H. If a probationary or tenured faculty member already employed at UND is appointed to an academic administrative position, rank, or tenure status will not be affected by the appointment. Accrual of additional tenure credit during subsequent administrative service may be granted only when there is regular, formal involvement in the program and the discipline of the department and with concurrence of the department/college concerned.

I. Administrators do not accrue tenure as administrators.

J. If any individual is appointed to an academic administrative position from outside the University, academic rank and/or tenure offered concurrently with or subsequent to such appointment will be determined only after recommendation of the department/college in which the rank is to be given. The criteria for rank and/or tenure for administrator-teachers, especially those relating to scholarly activity and service to students, will be similar to those regularly used in the department/college.

K. A tenure-eligible faculty member cannot be recommended for tenure unless the department/college will have available permanent funding for that person from appropriated funding at the time tenure is to become effective. A department/college cannot shift either a tenured or tenure-eligible faculty member onto non-appropriated money unless there is a recognized plan enabling reassignment of him/her to appropriated funding at the time non-appropriated funds are unavailable or he/she becomes eligible for tenure through years of services to the University.

L. Faculty in temporary positions whose appointments are funded out of State General Fund appropriated monies must be designated in all official contracts and documents as "Temporary," which designation may precede the title or follow the faculty member's name in parentheses. Under normal circumstances, temporary persons so appointed may be eligible for reappointment up to three years.

M. Faculty who are appointed to positions funded all or in part out of non-appropriated ("soft") funding must be designated in all official contracts and documents by modified academic titles#. Under very exceptional circumstances, appointments may be designated by unmodified academic titles as long as it is clearly indicated that the position is non-probationary and renewable only upon the availability of funds. Potentially, such positions are renewable without time limitations, subject to the recommendation of the department and the University as long as the non-appropriated funding is available*.

N. Time spent in a position in which the faculty member's appointment is primarily related to intercollegiate athletics will not earn tenure credit.

O. Normally, only those persons who have what is deemed the usually required terminal degree, or its equivalent for university teaching in their disciplines, will be appointed to regular tenure-eligible positions. When an exception is made, the faculty member will be expected to complete the appropriate degree or credential before being eligible for appointment with tenure.

P. A tenure-eligible Assistant Professor ordinarily must put forth an application for both promotion to Associate Professor and tenure in his or her sixth year. If the Assistant Professor does not achieve promotion to Associate Professor, then the President will recommend that his or her tenure application also be denied.

In this case, with the Provost's approval, and consistent with fulfillment of the University's institutional obligations, appropriate rigor of promotion, and tenure standards, and fairness to faculty, the Assistant Professor's Dean may

a. Do nothing, in which case the following year will be the Assistant Professor's terminal year.

b. Hire the Assistant Professor in a non-tenure-eligible position, such as instructor.

c. Request from the Provost a one-year extension of the tenure clock, giving the Assistant Professor one additional year to successfully apply for promotion to Associate Professor and tenure. In this case, the Dean and department should communicate clearly, and in writing, what the Assistant Professor must accomplish prior to, and demonstrate in, his or her next application. If the Assistant Professor does not achieve promotion to Associate Professor based on the next application, then his or her tenure application must also be denied, and the Dean may choose between options (a) and (b) above.

* This provision, under special circumstances, may have to be modified by the UND School of Medicine, with the approval of the State Board of Higher Education, in order to fit those situations unique to a state-wide, community-based medical school.

I-9 Resignations

When a faculty member returns a signed contract for the ensuing academic year, it is assumed that both parties will adhere to the express and implied conditions of that contract. A faculty member may terminate an appointment effective at the end of the academic year, provided that he or she gives notice in writing at the earliest possible opportunity, but not later than May 15, or one month after receiving notification by the institution of the terms of an appointment for the coming academic year, whichever date occurs later. After discussion with the college dean, the faculty member may properly request a waiver of this request of notice in case of hardship or a situation in which he or she would otherwise be denied substantial professional advancement or other opportunity. However, the University will require assurance that his or her place can be filled and that work at the University for which this faculty member is responsible will not suffer because of his or her withdrawal.

Vice President for Academic Affairs and Provost, 11-14-02

9.1 PROCEDURES FOR REQUESTS BY FACULTY FOR WAIVER OF ANY DEADLINE ON FACULTY-ORIGINATED TERMINATIONS OF APPOINTMENT

For purposes of this procedure, "faculty" mean all members of the academic staff, excluding only coaches and administrators in their capacities as coaches or administrators.

A faculty member who wishes to resign but has missed a reasonable deadline set by the University for giving notice of resignation shall be excused from the deadline:

1. if refusal to accept the resignation would work a hardship on the faculty member, who must describe that hardship in the request for waiver; or

2. even if hardship is not clearly shown, where there is sufficient time after the University receives the request for waiver to permit it to obtain reasonable coverage for any teaching, grant, or contract responsibilities assigned to the faculty member; coverage is reasonable even if it is only temporary, as by call staff or part-time special appointment to permit ordinary recruitment processes to find a replacement and conclude an appointment; or

3. for good cause shown, including the professional advancement of the faculty member seeking waiver. Professional advancement includes merely economic advantage for the resigning faculty member so long as the program or department supports the request and the program or department arranges, by reassignment of remaining personnel or otherwise, to mitigate any prejudice to the department or program's responsibilities to students or others.